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Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
Mid-Year Rate Adjustment for Fees Paid under Section 31 of the Exchange Act; Effective Date: April 1, 2008
Revised Fee for Fingerprint Processing
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Continuing Education Planning
New S901 Regulatory Element Continuing Education Program
Continuing Education Planning
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)